Testimony
March 14, 2019
“Putting Investors First? Examining the SEC’s Best Interest Rule”
Written Statement of Michael S. Pieciak NASAA President and Commissioner of the Vermont Department of Financial Regulation to the U.S. House of Representatives Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets.
June 13, 2018
“Ensuring Effectiveness, Fairness, and Transparency in Securities Law Enforcement”
Testimony of Joseph P. Borg, President, North American Securities Administrators Association and Director, Alabama Securities Commission, at a June 13, 2018 hearing before the U.S. House Committee on Financial Services Subcommittee on Capital Markets, Securities, and Investment
April 28, 2017
A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs
Written Testimony of Maryland Securities Commissioner Melanie Senter Lubin submitted for an April 28, 2017 hearing before the U.S. House Committee on Financial Services.
April 26, 2017
A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs
Written Statement of NASAA President and Minnesota Commissioner of Commerce Mike Rothman submitted for an April 26, 2017 hearing before the U.S. House Committee on Financial Services.
March 22, 2017
The JOBS Act at Five: Examining Its Impact and Ensuring the Competitiveness of the U.S. Capital Markets
Written Statement of NASAA President and Minnesota Commissioner of Commerce Mike Rothman submitted for a March 22, 2017 hearing before the U.S. House Committee on Financial Services Subcommittee on Capital Markets, Securities and Investment.
April 14, 2016
The JOBS Act at Four: Examining Its Impact and Proposals to Further Enhance Capital Formation
Written Testimony of NASAA Past-President William Beatty delivered to the House Financial Services Committee’s Subcommittee on Capital Markets and Government Sponsored Enterprises during an April 14, 2016 hearing.
April 29, 2015
Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens
Written Statement of NASAA President William Beatty provided to the House Financial Services Committee's Subcommittee on Capital Markets and Government Sponsored Enterprises during an April 29, 2015 hearing.
March 10, 2015
Venture Exchanges and Small-Cap Companies
Written Statement of NASAA President William Beatty provided to the Senate Banking, Housing and Urban Affairs Committee's Subcommittee on Securities, Insurance and Investment during a hearing on Venture Exchanges and Small-Cap Companies, March 10, 2015
May 1, 2014
Legislative Proposals to Enhance Capital Formation for Small and Emerging Growth Companies, Part II
Written Testimony of William Beatty, Washington Securities Division Director and President-Elect of the North American Securities Administrators Association, Inc., delivered to the House Committee on Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises, May 1, 2014
December 17, 2013
